Supervisor, Branch Audits

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Interested in joining a dynamic team?

Are you analytical, and passionate about investments?

Do you enjoy using technology to find solution to complex problems?

At PEAK, we look to train you in every component of our business, so that you can learn, grow and define your career. It will be exciting, with fast paced work and many new challenges. Our culturally diverse and dynamic team members are genuinely interested in helping you succeed and will support you every step of the way!

Cultivating a culture of high trust, PEAK strives to maintain an environment of collaboration, and family-like relations among employees. We have draws for your favourite show or sport, birthday celebrations among teammates, and social committee activities that consider your preferences!

The mandate of the Compliance Department is to ensure that PEAK has policies and procedures, as well as controls in place to ensure that all regulatory requirements are met in an effective and efficient manner. To achieve this, we work with other departments at PEAK and challenge the status quo. The team is comprised of 20 people.


Reporting to the Director, you will be responsible for supervising a team of 3 people who conduct branch reviews for PEAK Investments and PEAK Securities across Canada. You will be working closely with business partners to ensure excellent support to advisors. You will be continuously innovating and finding ways to enhance the quality and effectiveness of processes and procedures, ensuring compliance with all pertinent regulations.

Your Contribution

  • Supervising, hiring, ongoing coaching/training, etc. of staff
  • Reviewing for quality and approving the branch review reports prepared by staff to ensure compliance with the branch audit program
  • Advising business partners on issues identified and proposing solutions
  • Establishing, coordinating and monitoring the branch review cycle including risk ranking of branches and/or advisors and ensuring compliance with regulatory requirements
  • Preparing reports to management on the status of the branch reviews deficiencies identified and branches/advisors that require management attention
  • Improving and automating the branch review program
  • Preparing and delivering training to advisors on issues identified

Qualifications and Experience

  • Undergraduate degree in Finance or relevant field
  • Canadian Securities Course
  • Branch Manager’s course offered by the Canadian Security Institute
  • Strong knowledge of securities and related regulations (AML, Privacy, etc.)
  • Experience in managing a team
  • Minimum 5 years of relevant work experience
  • Auditing experience (an asset)


  • Excellent interpersonal skills
  • Excellent spoken and written proficiency in English and French
  • Strong organizational skills
  • Ability to verbalise complex concepts, influence and guide advisors to use the correct procedures
  • Prioritising and time management skills
  • Excellent knowledge of Microsoft Office Suite

If you think you have what it takes to flourish and prosper in the PEAK family, please send your resume to:  This e-mail address is being protected from spambots. You need JavaScript enabled to view it. .

We wish to thank all those who have applied but we will communicate only with those candidates selected for interviews.